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Compliance Officer H/F

3 months ago

Toronto, Ontario, Canada Bank of Montreal Full time
Associate Compliance Officer, Trade Surveillance (1-year Contract) page is loaded Associate Compliance Officer, Trade Surveillance (1-year Contract)
Apply locations Toronto, ON, CAN time type Full time posted on Posted 4 Days Ago job requisition id R

Application Deadline:
Audit, Risk & Compliance Note this is a 1-year contract opportunity.

BMOII's Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be responsible for conducting daily and monthly trade surveillance activities for investment trades consistent with regulatory obligations established by CIRO Rule 200.

This individual will collaborate with a team assessing a high volume of inquiries in a timely and efficient manner ensuring regulatory, corporate, and fiduciary obligations are met.

The Associate Compliance Officer will be responsible for maintaining current knowledge of regulatory requirements and developments, monitor risk, identify, and correct possible gaps and implement appropriate actions to mitigate them.

The Associate Compliance Officer is accountable for supporting the Manager to identify opportunities to enhance the Trade Surveillance team's key processes and implementing changes guided by BMO's Winning Culture.

In addition, the Associate Compliance Officer must contribute to business/group results by providing oversight and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.

The role also supports risk assessment monitoring and trending activities to ensure that the Trade Surveillance pillar of BMOII's Compliance Program remains current and aligned with both the Enterprise-wide Compliance Program and the goals of BMO's Canadian Personal & Business Banking business (P&BB).

BMOII) client account activity with a focus on Head Office criteria, as outlined in CIRO Policies and other regulatory/corporate guidelines.

Analyse and report on compliance data; identify trends developing in trading of specific dealing representatives (RISRs) and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Senior Compliance Manager where necessary.

Issue and follow up on queries from daily and monthly reviews with BMOII RISRs and Branch Compliance Officers.

Advise first line of defense management and employees on compliance matters; provide guidance and support to RISRs and branch office staff as needed regarding compliance policies and procedures, including effectively communicating requirements.

Develop and maintain a high level of expertise in all regulations, directives and guidance which apply to BMOII Trade Surveillance and refer to Compliance Policies & Procedures manuals for specific requirements.

Advise first line of defense management and employees on compliance matters and provide input on emerging risks, regulatory developments, and interpretation of regulations.

Conduct and/or effectively challenge risk assessments for business/group and assist to identify more effective compliance controls.
Anticipate, identify, and analyse risk and consequences of unaddressed risk factors/ compliance gaps and recommends appropriate controls.
Operate effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
Access, monitor and report on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
Broader work, special projects or accountabilities may be assigned as needed.
~ 1+ years of relevant experience in compliance, operational risk management of financial risk. Previous industry experience with a CIRO Dealer Member is an asset, including ability to conduct suitability assessments.
Bachelor's degree required.
Recognized compliance certifications or completion of CSC/IFIC and BCO course, or equivalent, preferred.
Knowledge of regulatory requirements, codes, and standards, in particular CIRO Rule 200.
Proven ability in exercising independent judgment and applying prudent risk mitigation principles.
Strong critical thinking, relationship management, research, and project management skills
Proficiency in Microsoft applications such as Excel, Word, PowerPoint, Power BI, etc.

This is a hybrid role, with a requirement to be in the Toronto office (First Canadian Place) 2-3 days a week.

Salaries for part-time roles will be pro-rated based on number of hours regularly worked.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards.

BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. We're here to help
Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
We strive to help you make an impact from day one – for yourself and our customers.

We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs.

From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

Accommodations are available on request for candidates taking part in all aspects of the selection process.

A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

BMO is a leading bank driven by a single purpose: to Boldly Grow the Good in business and life.

Everywhere we do business, we're focused on building, investing and transforming how we work to drive performance and continue growing the good.

We're proud to be fueling growth and expanding possibilities for individuals, families and businesses. More than 12 million customers count on us for personal and commercial banking, wealth management and investment services.

As the 8th largest bank in North America by assets, we provide personal and commercial banking, wealth management and investment services to more than 12 million customers.

In Canada, the United States and across the globe, we'll continue to build, invest and transform to drive performance that serves the good that grows.

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